Alyce G. Andrews
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alyce Gesner Andrews was a registered financial professional .
Alyce is a previously registered financial professional and started their career in finance in 1995. Alyce had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2018 - April 18, 2022
SANTANDER INVESTMENT SECURITIES INC.
August 20, 2007 - August 14, 2017
MORGAN STANLEY & CO. LLC
April 12, 2007 - August 8, 2007
SANTANDER INVESTMENT SECURITIES INC.
September 7, 2006 - April 18, 2007
CIBC WORLD MARKETS CORP.
May 5, 2003 - October 17, 2003
THE BENCHMARK COMPANY, LLC
December 13, 1995 - January 2, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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